Notable Securities Litigation Engagements

  • Served as federal court-appointed receiver for Creative Capital Consortium, LLC and affiliated entities that defrauded investors of over $68 million.
  • Represented registered representative in a wrongful termination and U-5 defamation claim, which resulted in an award of $1.8 million in FINRA arbitration against a major broker-dealer.
  • Represented bankruptcy trustees and receivers seeking return of millions of dollars in fraudulent transfers arising from various Ponzi schemes.
  • Represented individual investors, both domestic and foreign, with claims against their brokerage firms in NASD, NYSE and FINRA arbitrations resulting in millions of dollars of recovery for those clients.
  • Represented prominent NFL player in securities fraud suit against broker and agent. 
  • Represented national airline in securities arbitration against major broker/dealer.
  • Represented institutional investors in various national securities fraud class actions to recover money from Enron and WorldCom.
  • Represented UBS in enforcing covenants not to compete against former brokers and enforcing promissory notes against former brokers.
  • Represented brokers in regulatory actions before the FINRA and SEC.
  • Represented brokers and sales assistants with employment issues involving their employers.
  • Represented defendants in numerous class action securities fraud suits brought by investors.